Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Provides Guidance on Venture Capital Fund Advisers Exemption

Investment Advisers Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met.  Amongst those requirements is that certain investments be made in qualifying portfolio companies.  One prong of the definition of “qualifying portfolio company” requires that at the time of investment, the portfolio company is not reporting […] Read more →

by   |   September 27, 2015

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SEC Charges Investment Adviser with Cybersecurity Violations

Consumer Protection, Investment Advisers, Uncategorized The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for cybersecurity matters.  Press reports... Read more →

by   |   September 23, 2015


Second Circuit Stays SEC Administrative Proceeding

Investment Advisers, Litigation, Public Companies and Securities Defendants continue to pound nails into what may be to be the SEC’s coffin that its administrative proceedings are unconstitutional.  If the genie is out of the bottle... Read more →

by   |   September 19, 2015

FinCEN Proposes Extending Anti-Money Laundering Compliance Requirements to Investment Advisers

Banking, Broker-Dealer, Investment Advisers, Private Equity On Tuesday, the United States Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed a rule that would require SEC-registered investment advisers,... Read more →

by   |   August 27, 2015